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James Warren Steffen

TROTT BROOK FINANCIAL, INC.·ANOKA, Minnesota
SIE, Series 6, Series 7, Series 24, Series 63CFPClean record12 years registeredTROTT BROOK FINANCIAL, INC.
3601 THURSTON AVE, ANOKA, MN 55303CRD# 2342473Firm CRD# 290962

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Warren Steffen · ANOKA, MN
Registration
CRD #2342473 · TROTT BROOK FINANCIAL, INC. · 12 years registered
Brand Profile
Not yet started
01

Career History

TROTT BROOK FINANCIAL
Feb 2018 – present
LPL FINANCIAL LLC
Dec 2013 – Feb 2018
RAMSEY, MN
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 24
Series 63
Registration record
First registered · December 20, 2013
Years registered · 12
Professional designation · CFP
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
TROTT BROOK FINANCIAL, INC.
CRD 290962 · SEC 801-124792
AUM
$81M
Regulatory assets under management
Employees
2
358 client accounts
Services offered by TROTT BROOK FINANCIAL, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at TROTT BROOK FINANCIAL, INC. →
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05

Frequently Asked Questions

What services does James Warren Steffen offer?
James Warren Steffen specializes in Financial Planning, Investment Management. Contact their office in ANOKA, Minnesota for a consultation.
What are James Warren Steffen's credentials?
James Warren Steffen holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is James Warren Steffen located?
James Warren Steffen is based in ANOKA, Minnesota, working with TROTT BROOK FINANCIAL, INC.. Their office serves clients in the ANOKA metropolitan area and surrounding communities.
How does James Warren Steffen charge for services?
James Warren Steffen's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is TROTT BROOK FINANCIAL, INC.?
TROTT BROOK FINANCIAL, INC. has approximately 2 employees and manages $81M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in Minnesota
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